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6 Dec 2010, 4:44 am
The liability standard adopted by the Fourth Circuit is inconsistent with the Supreme Court’s 1994 Central Bank ruling that there is no private action against secondary actors for aiding and abetting securities fraud.According to CAQ, the Fourth Circuit ignored Central Bank’s core principle requiring liability standards that draw a clear distinction between a defendant’s own statements or omissions and the statements or omissions of others by holding that a… [read post]
6 Jun 2008, 8:28 pm
For, why is it that investment banks, themselves -- the entities that are marketing and selling securities -- are the entities that pay for ostensibly independent ratings of those securities? [read post]
20 Dec 2013, 9:08 am
The analyst's team was then able to work its way backward and independently confirm Target had been breached. [read post]
20 Dec 2013, 9:08 am
The analyst's team was then able to work its way backward and independently confirm Target had been breached. [read post]
14 Nov 2011, 8:05 am
I discussed options including: family member, trusted friend, professional fiduciary, bank, another attorney, CPA, and bookkeeper. [read post]
5 Jul 2022, 4:03 am
They are independent practitioners that work for lawyers. [read post]
7 Jan 2009, 3:51 am
A massive correction has begun as all the investment banks have laid off thousands and none of the major ones remain on a stand-alone basis. [read post]
12 Mar 2018, 1:37 pm
“Judicial independence,” as it is commonly understood outside China today, is the enemy and forbidden by Party rulers even to be discussed in law schools. [read post]
22 May 2012, 5:00 am
" In other words, the analyst writing process must be independent of the investment banking function. [read post]
12 Nov 2024, 3:16 am
The regime, which was introduced as part of the structural reforms made to the UK banking sector following the 2008 Global Financial Crisis, broadly requires large banks to separate their core retail banking services from their investment banking activities, with the aim of improving the sector’s resilience to future crises while ensuring failures could be managed with minimal disruption to critical banking services and without the use of public… [read post]
3 Jan 2007, 3:59 pm
In 2004, AmSouth had paid $50 million in fines and penalties to the federal government to settle criminal and civil charges that the bank had failed "to file 'Suspicious Activity Reports,' as required by the federal Bank Secrecy Act and various anti-money-laundering regulations. [read post]
21 Jul 2020, 11:58 am
Miller that bank customers lack a reasonable expectation of privacy in their bank records, pointing to Congress’s enactment of the Bank Secrecy Act, which requires banks to maintain financial records because of their usefulness in investigations. [read post]
11 Nov 2015, 6:28 am
But these supposedly independent Palestine-based telecommunication companies are heavily dependent on Israel's co-operation to operate at all. [read post]
24 Jul 2017, 8:36 am
It turns out Bronston had a personal bank account with a Swiss bank for a span of about five years. [read post]
24 Jul 2017, 8:36 am
It turns out Bronston had a personal bank account with a Swiss bank for a span of about five years. [read post]
31 Dec 2018, 4:07 pm
Discover Bank (Tex. [read post]
21 May 2014, 10:20 am
Eventually, Bank of America took title to various portions of the project in two trustee’s sales. [read post]
1 Jul 2005, 11:24 am
A bank account (and possibly a money market fund or savings account) should be opened by the independent executor. [read post]
5 Nov 2011, 6:39 am
" In July 2011, AG Harris announced she was intending to conduct an independent examination into the housing crisis. [read post]
19 Jan 2023, 5:07 am
Set up fraud alerts: Consider setting up fraud alerts with the elderly person’s bank and credit card companies. [read post]
